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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-08-27 |
| NC | RA | APPROVED | 2017-09-05 |
Branch Locations
34 2Nd St Nw Ste 300, Hickory, NC 28601 • United States
16 Towne Place Dr Ste 120, Hendersonville, NC 28792-5892 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 07/2016 | 07/2017 |
| Ameriprise Financial Services, Llc | Hickory | NC | 07/2017 | Present |
Real Estate Ownership; Single Family; 2527 Lola Ave, , Charlotte, NC, 28205; Not Investment-Related; 07/01/2025. Outside Employment; QC Somm LLC; Owner; Private sommelier services and wine consulting; 2527 Lola Ave, , Charlotte, NC, 28205; Not Investment-Related; 03/24/2023; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-12 |
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